Personnel Hong Kong SFC License Details (ID 74698)

Personnel Hong Kong SFC License Details (ID 74698)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
NOMURA INTERNATIONAL (HONG KONG) LIMITED	RO	Advising on securities	2023-08-22	2025-04-11
	RO	Dealing in securities	2023-08-22	2025-04-11
	Rep	Advising on securities	2023-04-18	2023-08-22
	Rep	Dealing in securities	2023-04-18	2023-08-22
Citigroup Global Markets Asia Limited	Rep	Dealing in futures contracts	2013-06-27	2016-05-21
	Rep	Dealing in securities	2010-11-11	2016-05-21
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2010-11-11	2013-08-31
	Rep	Dealing in securities	2010-11-11	2013-08-31
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	-	2004-10-13
	Rep	Advising on securities	-	2004-10-13
	Rep	Asset management	-	2004-10-13
	Rep	Dealing in securities	-	2010-02-27
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Advising on futures contracts	-	2004-10-13
	Rep	Asset management	-	2004-10-13
	Rep	Dealing in futures contracts	-	2010-02-27